Performance and Development Appraisal Scheme
Draft Guidelines
What is the Appraisal Scheme?
It is a continuing dialogue that takes placethrough the year, with the content summarised and recorded in a formal annual appraisal meeting. The discussions seek agreement on four themes: /- Objectives: what will theperson focus on achieving in the coming period?
- Continuous development:in view of their recent contribution, how will s/hedevelop it in the future?
- Resources and Support: what doess/he need to succeed?
- Career: what are their next career steps?
The purpose
The Appraisal Schemebenefits both Queen Mary and the individual.
For Queen Mary it is the opportunity to:- Connect the strategic aims with the work of individuals.
- Raise collective performance by helping enhance individual contribution.
- Identify and develop talent in a way that will secure Queen Mary’s future excellence.
- Agree work objectives that contribute to their career aims as well as Queen Mary’s future excellence.
- Recognise their successes.
- Review how s/he will develop their contribution and realise more of their potential.
- Agree, in the context of their objectives and career aspirations, the support and resources s/he needs to help them develop.
What’s distinctive about the Performance and Development Appraisal Scheme?
Framework / A continuing two-way dialogue / The scheme consists of a year-long dialogue between individual and appraiser, with an annual summary discussion. It forms a two-way conversation with the aim of reaching agreement. The tone is one of encouraging ambition and supporting individual development.One framework for all / A single framework for everyone to minimise repetition / A single framework for all staff providing greaterfairness and consistency.
Some staff may need to participate in an alternative process either for contractual reasons or in order to maintain professional standing (for example Queen Mary’s probation scheme or an NHS scheme). These other schemes have been validated to avoid the need to for unnecessary repetition of discussions or their recording.
Scope / Whole role / Objectives should cover all the main areas of a person’s role and should, more or less, reflect a balanced view of that role rather than focusing on a limited range.
Participants / Appraisee and appraiser/line manager / The line manager is the default appraiser. Where s/he has responsibility for more than approximately eight staff, s/he should delegate this role and authority.
An appraisee may challenge his or her appraiser, although there needs to be a serious and substantive reason for doing so that goes beyond a simple preference for somebody else. Line managers will try to accommodate reasonable challenges. In theunusual event that this is not sufficient, the appraisee may appeal up the chain of line management.
Appraisers will be credible with both appraisee and line managers. Thus s/he will be at least of a similar seniority to the appraisee within the local organisational structure. S/hewill complete specified training and periodically participate in refresher events. S/hecan be relied upon to:
- Translate the wider needs of the Department/School/Institute to be applicable to the individual.
- Be informed about the general resourcing of the Department/ School/Institute.
- Know enough about the appraisee’s work and work environment and its wider context to make informed and constructive comment about objectives, achievements and career while ensuring that discussions balance being productive, challenging / ambitiousand supportive.
- Give informed advice on the resourcing implications of objectives and feed these back to the line manager.
- Clarify strategic priorities to appraisers and keep them up to date with budgets, staffing, training / secondment opportunities and other aspects of resourcing that might affect appraisals.
- Lead decision making on support and resource requests emerging from appraisals, create overall development plans and ensure decisions are communicated back to appraisees.
- Review the outcomes of discussions for fairness.
Tone / Two-way and future-focused in support of continuous development / The overall tone is of encouraging ambition – building for the future.
The conversation is two-way with the aim of reaching agreement.
- Where agreement cannot initially be reached, appraisee and appraiser should make every effort to do so. The choice of objectives and evaluation of previous ones are informed by evidence; both partiesare encouraged to review their use of this evidence before returning to the discussion at a later date to try to reach agreement. In the rare circumstances where disagreement over an issue of importance is not resolved, they may turn to the line manager/appraiser’s line manager to mediate and assist them in reaching resolution. They remain responsible, however, for continuing to seek agreement.
Objectives / Agreed
Flexible
Outcomes
Individualised
SMART /
- Objectives are agreed statements of intent that benefit both Queen Mary and the individual. They are tailored to the individual, arising out of a combination of that individual’s work responsibilities, interests and ambitions, as well as the aims and needs of Queen Mary. Objectives should be proposed by the appraisee in the first instance.
- They are expressed as outcomes (See examples at Appendix 1)and are not detailed descriptions of how work is to be done. Theyshould not constrain the freedom of enquiry and expression enshrined in the tradition of academic freedom.
- Objectives should help individuals move forward on their career pathsas well as contributing to the Department/School/Institute.
- Whilst a firm statement of intent, some objectives will inevitably change in the face of shifting circumstances and opportunities. Some objectives will depend on confirmation of the availability of support/resources.
- They should relate to all the main areas of a person’s role. 4-5 objectives would be usual.
Specific. The outcome is tangible and concrete.
Measurable. Describe features of what good achievement would look like. Some of these may be quantifiable. Where this is possible and adds to clarity, this should be done. Where it is not possible, the challenge is: has the objective been described with sufficient clarity that both sides are confident they know what a successful outcome would look like?
Achievable. Objectives should be capable of achievement by the appraisee in normal working time. Objectives must be realistic – within the control of the individual - in the anticipated context and environment, including the resources likely to be available.
Relevant. Objectives must be relevant to the specific activities and ambitions of the appraisee.
Time-related. Objectives have a deadline which should be appropriate to the objective rather than be driven by the annual nature of the review cycle. Where longer timescales than a year are appropriate and are agreed, it may be helpful to discuss interim milestones.
Appraisers should encourage discussion of career aims in order to ensure as far as possible that objectives contribute towards such progression. Appraisees should be encouraged to develop skills and career paths, to aim for promotion or new fields where appropriate. It is appropriate for appraisers to suggest opportunities for development such as secondments, outside engagements, new responsibilities or training that contribute to such aims as long as no pressure is placed on the appraisee to take on such roles.
Review / Review the past for the sake of the future, covering the whole role. / The review of past contribution is with aneye on the future, to understand where the appraisee should focus for the coming year.
For each objective appraisee and appraiser agree a single, brief summary sentence to describe achievement which is later recorded onthe form. Normally this would indicate whether the objective was met or not (or exceeded or partially met) and why this was so, capturing succinctly the reason for success. Alternatively,it may on occasion be appropriate to record that an objective was altered, abandoned or else became unrealistic through changing circumstances.
The review will be mainly around the previously agreed objectives but the appraisee will have made other contributions in the year that were never captured as objectives and these should also be reviewed and recorded.
Frequency / The annual appraisal is the summary of a year-long conversation / Developing a person’s contribution – a key aim of this process – is not achieved through a single meeting. Nor is a relationship of trust built through a once-a-year meeting.
The frequency of subsequent meetings will be determined by factors such as the experience of the appraisee, the complexity of objectives and the extent of change in the work environment. However, there should be no fewer than two additional discussions in the year that collectively address the four themes of:
- Objectives
- Continuous development
- Resources and support
- Career development
Links to other processes / Remedying poor performance process / The appraisal process is not to be used for managing poor performance. QMUL has entirely separate procedures for that.
Concerns that would lead a line manager to commence a poor performance process will be serious and of some duration. Very rarely would they arise suddenly, for example in an appraisal meeting itself. However, if this should occur, then the appraisal meeting would be terminated straight away.
Links to other processes / Pay/progression processes / There is also no link to other processes at Queen Mary. However, information from the record of their appraisal may be used by the appraisee as a consistent, single, agreed source of data when making applications inother processes (for example, promotion and bonus processes) where the performance of the individual is relevant.
Individuals applying to these schemes continue to be free to select any sources of information to substantiate their application.
Get the focus right / The purpose is the conversation rather than filling out the form. / The meeting is the opportunity for a lively, challenging and supportive conversation. The more that the completion of a form –on paper or on screen – shapes the meeting, the more this core intention is undermined. Notes should be taken, but written up later, rather than an attempt made to complete the form in the meeting.
Document / Two part form with limited sharing / The agreed outcomes of the meeting are written up by the appraisee with the appraiser addingadditional comments. Where significant changes to objectives occur (e.g. modifications, deletions, new objectives) in the course of the year, these should also be recorded at the time.
Both appraisee and appraiser agree a summary review sentence for each objective as well as each being invited to write a slightly more extended commentary (which may not be essential in every instance).
The appraisal form is in two parts so that longer reflections and information that should remain confidential to the appraisee and appraiser/line manager, can be separated off. Such information may include, for example, personal issues e.g. health, domestic, financial; relationship challenges at work; challenges from particular aspects of the work.
The record of an individual’s appraisal is a confidential document with restricted availability. Whether in paper or electronic forms, it is held by the appraiser/line manager and appraisee and hard copy does not attach to an individual’s personnel records.
The part of the record that is not private to appraisee and appraiser may be viewed by the appraisee’s direct line manager and more senior managers within their line structure (up to VP/Director level).
The practice
Line Manager/ Head/Director / Appraiser / AppraiseePreparation
Ensure that delegated appraisers are clear about strategic priorities, particularly in relation to how appraisees may contribute to them.
Ensure that delegated appraisers are informed about the likely availability of resources where possible. / Read and consider relevant sector, Queen Mary or local departmental documentation that may inform your discussion. Examples would include: the Framework for Assessing Academic Contribution and the HEA’s UK Professional Standards Framework. / Read and consider relevant sector, Queen Mary or local departmental documentation that may inform your discussion. Examples would include: the Framework for Assessing Academic Contribution and the HEA’s UK Professional Standards Framework.
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Past. To what extent do I believe past objectives have been achieved? What is the evidence? What contextual factors may have influenced this process? Were the necessary resources and support in place in time?To what extent was best use made of resources and support? What other achievements should be recorded? How should we acknowledge successful teamwork?What feedback will I give? What can we learn for enhancing future contribution? / Past. Have I achievedmy earlier agreed objectives? What is the evidence: what went well and not so well? What contextual factors may have influenced this process? Were the necessary resources and support in place in time? To what extent was best use made of resources and support? What else did I achieve that was not included in my objectives? What am I learning for the future?
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Future. How are the departmental priorities relevant? What objectives are appropriate? What support/resources may s/he need? What can I offer? / Future. What should be my future objectives? What support, resources and leadership would I welcome to help me succeed, and to enable me to be more effective in the future?
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Career. What is my understanding of their ambitions over the next two - three years? How can I help clarify what needs to be done to achieve those ambitions? Hass/he development needs in their current role or to prepare for future roles? What other opportunities arethere that are stimulating or useful for this person? / Career. What are my ambitions in the coming two- three years? What do I need to do to get where I want to be? Do I have development needs in my current role or to prepare for future roles?
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Documentation. Draft a version of the form to indicate own views on past contribution, proposed future objectives, and career ambitions and development needs. Send to appraiser in an agreed timeframe.
Documentation. Read appraisee’s draft.
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Meeting
The annual meeting follows a structure based on the questions above.
- Agree review of past objectives.
- Agree future objectives: four to five are usually appropriate, covering the full range of the post. Agree, where appropriate, any milestones.
- Discuss career ambitions. An opportunity for the appraisee to discuss and test their career ambitions.
- For some this may be a brief conversation insofar as s/he does not want to move from their current role in the foreseeable future. Focus would therefore be on how s/he keeps themselves up-to-date in their current role.
- Agree developmentplans. Describe specific activities that will be undertaken to progress.
- Avoid defaulting to only thinking about training, which accounts for around 10% of what we learn; most new expertise is acquired through exposure to new situations, people and challenges. Consider, therefore, suggesting new roles, sideways moves to gain different experience, outside engagements or additional responsibilities.
- Agree further meetings.
Afterwards
Write up the summary of discussions: review of past objectives and future objectives, career and development plans.
Add appraiser’s comments. /
/ Add appraisee’ssummary comments.
Storage. The form is designed to be maintained electronically. Copy is stored by appraiser and appraisee and by the appraisee’s line manager if s/heis not the appraiser.
Meet appraisers to identify support/resourcing needs emerging from the round of appraisals, as well as development needs. Create an overall development plan: leading the decision making and ensuring that decisions are communicated back to appraisees.
Review process with appraisers to ensure fairness. / Meet line manager/ head/ director to identify support/resourcing needs emerging from the round of appraisals, as well as development needs. Communicate decisions back to appraisees.
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Ongoing meetings
Maintain regular formal and informal contact. / Record significant changes to future objectives.
Appendix 1: Examples of work objectives
The objectives below are intended as examples of types of objective that may be appropriate and how they might be expressed. Inevitably they are generic and are not intended to be simply used as they are. Alongside them, the notes capture some issues to take account of in shaping helpful objectives.
Area / Objective / NoteAcademic / Submit for publication as author or co-author (a particular piece of) research to a refereed journal (e.g…) with a backup plan for alternative (specified) journals by (date). / There is a clear aim that the research is published and the appraisee should be encouraged to do all in their capability to achieve this result. During appraisal discussions, both sides will review progress against the plan with the appraiser offering constructive advice.
However, the output is expressed in this way as potential collaborators, editorial decisions and publication deadlines are outside the control of individuals. Appraisee and appraiser will need to be sensitive to two issues in particular:
- The timeliness of this objective which will be highly dependent upon the discipline and the nature of the research: it can never simply be an automatic objective applied year after year.
- External circumstances where publication deadlines and editorial decisions are outside of the appraisee’s control.
Submit applications for research grants to the value of £x from sources such as (….), with a backup plan for alternative sourcing by (date). / Comments as above. Constructive discussion during appraisal may centre on the timing and appropriateness of particular applications, and resources to support such bids may be offered.
Initiate / develop collaborations with University colleagues and with internationally-leading groups (e.g….) over the next 18 months to develop research in the area of (specify). / Comments as above.